asset exchange and a digital asset broker, did not provide management structure, operating system and a sufficient number of personnel in accordance with the notification of the SEC. DAB Act S.94 in

submit the financial statements through the One For All Reporting System of the SEC Office within the period specified in the notification which are (1) the financial statements for the six-month periods

Compliance) to the SEC through a system prepared on the website of the SEC Office within 7 business day as from the occurrence of such circumstance. However, KWI reported the discontinuation of such a person

Office through a system prepared on the website of the SEC Office within 7 business day as from the occurrence of such circumstance. However, KWI reported the discontinuation of such a person on 26

compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 12, 2023. However, FL reported the discontinuation of such a person on May 16, 2023. SEC

compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 13, 2023. However, FL reported the appointment of such a person on March 7, 2023. SEC

of crude oil and not to record material revenues and other account in AIE’s accounting system causing inaccuracy in AIE’s financial statements for Q1-Q3 of the year 2014 and the financial statement for

crude oil and not to record material revenues and other account in AIE’s accounting system causing inaccuracy in AIE’s financial statements for Q1-Q3 of the year 2014 and the financial statement for the

Company Limited (a 100-percent subsidiary of IEC) through a contract with Energy System Engineering and Service Co., Ltd. (ESES), deemed under control of Mr. Bhusansa and Mr. Saran, for the construction of

;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the